DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
R••••• A•••••••••
Legal name R••••• A••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Jul 13, 2012 · 36 filings
SEC status approved since Mar 8, 2001
RAUM
$940M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$900M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$940M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$940M as of Mar 31, 2026
Jul 13, 2012$263M then
HNW client RAUM$787M as of Mar 31, 2026
Mar 13, 2018$350M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jul 13, 20120 then
Employees (5.A)2 as of Mar 31, 2026
Mar 26, 20131 then
Private funds: no history
RAUM +8.2% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $940MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 450derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $76.2M, 3 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$787M84%
- Individuals$112M12%
- Pension and profit-sharing plans$16.6M1.8%
- Charitable organizations$12.5M1.3%
- Corporations and businesses$11.4M1.2%
- Individual clients
- 200reported
- HNW clients
- 250reported
- Pension plan clients
- 15reported
- Charitable clients
- 5reported
- Accounts
- 492reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.2M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• A•••• R••••• | Alamo, Ca | Jul 13, 2012 | 42 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• A•••••• K••••••• · Chief Compliance Officercontrolsince 05/2012 · owns less than 5%
- R•••••• E•••• A•••• · President/Ownercontrolsince 01/1983 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026R•••••• E•••• A•••• (PRESIDENT/OWNER) left Schedule A between the filings of 2012-07-13 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 488 to 492Apr 18, 2025 to Mar 31, 2026
- Charity clients · 4 to 5Apr 18, 2025 to Mar 31, 2026
- Corporate clients · 4.0 to unsetApr 18, 2025 to Mar 31, 2026
- HNW clients · 252 to 250Apr 18, 2025 to Mar 31, 2026
- Individual clients · 206 to 200Apr 18, 2025 to Mar 31, 2026
- Assets in custody · $65.2M to $76.2MApr 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $867M to $939MApr 18, 2025 to Mar 31, 2026
- HNW RAUM · $716M to $787MApr 18, 2025 to Mar 31, 2026
- Individual RAUM · $90.5M to $112MApr 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.5M to $1.4MApr 18, 2025 to Mar 31, 2026
- Pension RAUM · $42.6M to $16.6MApr 18, 2025 to Mar 31, 2026
- RAUM · $869M to $940MApr 18, 2025 to Mar 31, 2026
- Accounts · 1,002 to 488Oct 29, 2024 to Apr 18, 2025
- Corporate clients · unset to 4.0Oct 29, 2024 to Apr 18, 2025
- HNW clients · 244 to 252Oct 29, 2024 to Apr 18, 2025
- Individual clients · 163 to 206Oct 29, 2024 to Apr 18, 2025
- Assets in custody · $37.4M to $65.2MOct 29, 2024 to Apr 18, 2025
- Financial planning clients · unset to Oct 29, 2024 to Apr 18, 2025
- Discretionary RAUM · $751M to $867MOct 29, 2024 to Apr 18, 2025
- HNW RAUM · $530M to $716MOct 29, 2024 to Apr 18, 2025
- Individual RAUM · $70.5M to $90.5MOct 29, 2024 to Apr 18, 2025
- Non-discretionary RAUM · $0 to $1.5MOct 29, 2024 to Apr 18, 2025
- Pension RAUM · $36.0M to $42.6MOct 29, 2024 to Apr 18, 2025
- RAUM · $751M to $869MOct 29, 2024 to Apr 18, 2025
- Accounts · 933 to 1,002Nov 21, 2023 to Mar 1, 2024
- Charity clients · unset to 4.0Nov 21, 2023 to Mar 1, 2024
- HNW clients · 283 to 244Nov 21, 2023 to Mar 1, 2024
- Individual clients · 67 to 163Nov 21, 2023 to Mar 1, 2024
- Pension plan clients · 10 to 15Nov 21, 2023 to Mar 1, 2024
- Assets in custody · $167M to $37.4MNov 21, 2023 to Mar 1, 2024
- Discretionary RAUM · $686M to $751MNov 21, 2023 to Mar 1, 2024
- HNW RAUM · $515M to $530MNov 21, 2023 to Mar 1, 2024
- Individual RAUM · $92.5M to $70.5MNov 21, 2023 to Mar 1, 2024
- Pension RAUM · $62.0M to $36.0MNov 21, 2023 to Mar 1, 2024
- RAUM · $686M to $751MNov 21, 2023 to Mar 1, 2024
- Accounts · 902 to 933Oct 10, 2022 to Feb 21, 2023
- Corporate clients · 6.0 to unsetOct 10, 2022 to Feb 21, 2023
- HNW clients · 285 to 283Oct 10, 2022 to Feb 21, 2023
- Individual clients · 60 to 67Oct 10, 2022 to Feb 21, 2023
- Pension plan clients · 11 to 10Oct 10, 2022 to Feb 21, 2023
Signals
1 dated events
- R••••• A••••••••• reported RAUM $530.5M, up 28% from $413.6M (2019-10-18 to 2020-02-26)Feb 26, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- R•••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-838-0696reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $940Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026